SCALF Annual Reporting State Health Planning and Development agency Bradford L. Williams, data/planning director

Mandatory Facility Reporting Act 2015-471 “Alabama Health Planning Facilitation Act” “….to provide for certain mandatory health care reporting to SHPDA; to designate the SHPDA as the agency to collect, compile, and analyze the collected reports; to establish and provide for the membership of the Health Care Information and Data Advisory Council; to require that the SHPDA, after receiving advice and guidance from the council, adopt rules to implement this act; to provide for penalties for failure (to) make the required reports; and to require the SHPDA to meet certain deadlines or lose its authority to require the reporting.”

Alabama Health Planning Facilitation Act Signed June 2015 Created Health Care Information and Data Advisory Council Requires SHPDA allow for electronic filing of reports by providers If electronic filing not available within 1 year of effective date of act, act becomes null and void Reporting to SHPDA made mandatory Created administrative penalties of up to $5,000 for rural providers/$10,000 for non-rural providers for non- compliance Non-compliance with reporting bars participation in CON process as applicant OR opponent Rule making process required to be completed within 1 year of effective date of act

Health Care Information and Data Advisory Council 13 member board “…..charged with advising and participating in the writing of rules necessary to implement this act and reviewing reports prior to dissemination by SHPDA” 2 members appointed by Alabama Hospital Association 2 members appointed by Alabama Nursing Home Association 1 member appointed by Assisted Living Association of Alabama 2 members appointed by Alabama Hospice and Palliative Care Organization 1 member appointed by Alabama Home Care Association 1 member appointed by Chair of the Statewide Health Coordinating Council (SHCC) 2 members appointed by Ambulatory Surgery Center Association 1 member appointed by Alabama Department of Mental Health Chair of Certificate of Need (CON) Review Board or his/her designee Current Chairman – F. Wayne Pate - SHCC

410-1-3-.12 Annual Reports Defines the current annual report types collected by SHPDA, and the dates on which they are due

410-1-3-.09 Electronic Filing Rule provides for electronic filing of all documents with Agency, including Mandatory Reports Mandatory reports shall be submitted to data.submit@shpda.alabama.gov May also be submitted on disk if e-mail submission not available to provider, but must still be received prior to deadline established by rule

410-1-3-.11 Submission of mandatory reports; administrative penalties

410-1-3-.11 Submission of Mandatory Reports; Administrative Penalties Section establishes policies and procedures for mandate, compliance and enforcement Places requirements on providers AND on SHPDA staff Written to ensure accurate and up to date information available to SHCC and CON Review Board for health planning purposes Establishes “level playing field” – all providers treated equally, maximum penalties reduced for rural providers, and small provider status created to also allow for reduced maximum penalties Written by representatives from all provider types required to file and boards, with Agency and industry input and recommendations taken into consideration

“Mandatory Report” Defines the term Mandatory Report – types of reports are listed in 410-1-3-.12, Annual Reports

“Small Provider” Section provides varying definitions of a “small provider” for purposes of this rule ONLY Facilities with fewer than 65 beds All facilities under common ownership are considered together in determining “small provider” status for any facility required to file by rule

“Failure to File” Reports are deemed received on the date they are electronically submitted SHPDA has 7 days to determine if submission is “materially complete” and notify reporter of deficiencies SHPDA has 7 days following deadline to contact facilities that have not submitted 60 day grace period following due date to bring reporter into compliance with rules

Mandatory Report Tracking/Board Reporting SHPDA is required to track compliance status of all reporters SHPDA is required to report compliance of all reporters to all 3 governing boards (CON, SHCC, HCIDAC) at meeting immediately following end of grace period Identification of both late and materially incomplete reporters are to be provided to boards

Financial Penalties for Non-Compliance Any facility not compliant with rules following grace period will face a financial penalty Penalty dependent on if reporter is deemed rural or “small provider” Per day penalties begin the day after due date, not after grace period Waivers of penalty only under extreme circumstances defined by rule Late/incomplete reports deemed complete during grace period do not face financial penalties

Non-participation in CON Process Failure to submit materially complete mandatory report prior to due date blocks participation in CON process as applicant OR opponent Penalty is in effect during grace period Active filings and/or opposition can also be affected if compliance is not achieved within 7 days Reporter must maintain compliance through entire application process

Contact of Record Reporter required to keep current and accurate contact information on file with SHPDA SHPDA will generate documentation and disseminate to providers prior to end of current reporting period 2 contacts required, 3rd optional contact allowed Contacts responsible for receiving report and assigning to preparer

2017 Annual report for Specialty Care Assisted Living Facilities Form SCALF-1 2017 Annual report for Specialty Care Assisted Living Facilities

Page 1 No changes were made to this page of the annual report 2 separate individuals must sign – preparer AND member of administration who verifies accuracy of reported information Report must have both SHPDA Facility ID number AND Facility Name AS REPORTED TO SHPDA listed on report in appropriate location shown

Page 2 Waiting list and number of deaths questions removed Number of payer sources requested were reduced Total admissions should equal total admissions reported on Page 3 Total discharges should be logically consistent with total admissions

Page 3 No changes were made to this page of the report Total admissions for both sections should be equal, and should equal admissions reported on page 2

Page 4 Financial information and room charges removed from report Number of licensed beds should equal number reported on page 2 Total number of unoccupied days should be reported on line 3. Any bed authorized but not set up for use during reporting period is 365 unoccupied days. Data in this section used to calculate occupancy rates for “relief valve” applications

Additional Information SHPDA has never received 100% compliance for SCALF annual reports SHPDA has been charged with studying SCALF utilization for possible methodology revision since 2010 Complete and accurate reporting necessary to show current utilization of extant resources AND to predict need for additional resources in future “SHPDA may bring civil actions in any court of competent jurisdiction to enforce compliance with this act or any requirement or appropriate request of SHPDA made pursuant to this act” [Act 2015-471] Data used to ensure necessary resources for aging state population

Contact Information/Questions Bradford L. Williams Data/Planning Director Alabama State Health Planning and Development Agency bradford.williams@shpda.alabama.gov (334) 242-4103